Broker Robert DePalo Barred Following Fraud Conviction Investor Alert! Securities broker Robert DePalo (CRD#: 2946313, Greenwich, Connecticut) is no longer allowed to act as a broker or investment advisor, according to the Securities and Exchange Commission (“SEC”), who barred DePalo after he was convicted of fraud. Not only that, but FINRA barred the broker and […]

Stifel Nicolaus Broker Barred After Pleading Guilty To Fraud Soreide Law Group is investigating potential investor claims for losses caused by securities broker Mitchell Yanow (CRD#: 2148171, Boca Raton, Florida). Notably, the Securities and Exchange Commission (“SEC”) barred the securities broker, who associated with Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”) from 2015 to 2018. […]

Morgan Stanley's Barry Connell Allegedly Misappropriated Investor Funds Soreide Law Group is investigating potential investor claims against securities broker Barry Connell (CRD#: 3070984, Ridgewood, New Jersey). Notably, the Financial Industry Regulatory Authority (“FINRA”), who barred the broker, reports through BrokerCheck that a slew of clients filed disputes about him.  Mainly, these clients allege Connell’s misdeeds […]

Broker Phillip Schreiner Fails To Comply With FINRA Soreide Law Group is investigating potential investor claims against broker Phillip Schreiner (CRD#: 4742497, San Antonio, Texas). Notably, Financial Industry Regulatory Authority (“FINRA”) issued another sanction to the broker, this time for allegedly failing to pay an arbitration award or prove his compliance therewith. Evidently, this comes […]

Broker Daniel Levine Barred By SEC, FINRA and Colorado Division of Securities Former Morgan Stanley broker Daniel Todd Levine (CRD#: 2874319, Greenwood Village, Colorado) is one of the latest securities brokers to be expelled from the industry. Evidently, Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and Colorado Division of Securities barred the […]

RICHARD LYNN PITTMAN (RICHARD L PITTMAN, RICK PITTMAN) CRD#: 2845145, according to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, had a Customer Dispute filed against him in September of 2019. RICHARD LYNN PITTMAN is currently a financial advisor with CETERA ADVISORS LLC, of Memphis, Tennessee. According to FINRA’s records, the pending dispute filed in September […]

Broker Jimmy Jacobs Allegedly Concealed Annuity Information Soreide Law Group is reviewing possible investor disputes against AXA Advisors securities broker James “Jimmy” Allen Jacobs (CRD#: 256420, Chesterfield, Virginia). Not only has Virginia State Corporation Commission imposed special supervisory procedures seemingly because of Jacobs’ transgressions in the industry, but at least 5 clients raised serious concerns […]

Broker Dennis Mehringer Barred For Refusing To Testify About Investment Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Western International Securities broker Dennis Albert Mehringer Jr. (CRD#: 722569, Pasadena, California). Notably, no less than 11 clients contested his sales practices. Not only that, but FINRA barred Mehringer for […]

National Planning Corp, a broker/dealer unit of the annuities company, Jackson National Life Insurance, has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay $2.6 million to their 84 year-old client who purchased fraudulent promissory notes, non-traded real estate investment trusts (REITs) and other unsuitable investments recommended by their former broker, William Glaser, […]